The Compliance Committee Cell at KMCT Law College ensures strict adherence to legal, regulatory, and institutional policies. This committee is committed to fostering a transparent and accountable environment within the college. It oversees compliance with academic standards, anti-ragging measures, safety protocols, and ethical guidelines, ensuring alignment with regulations set by governing bodies such as the Bar Council of India and the University of Calicut.
Through regular monitoring, audits, and awareness initiatives, the Compliance Committee works proactively to prevent and address non-compliance issues. The cell also facilitates a culture of integrity, safeguarding the institution’s reputation and the well-being of its stakeholders.
Policies and procedures are non-negotiable aspects of evidence. The accuracy of infosec policies is evaluated based on their alignment to the assessment requirements.
It is also necessary to submit proof of policy acknowledgments by all employees to ensure their awareness. If there are any policy or procedural updates, these must be documented to clearly bring out the changes from previous versions.
Audit trails and logs are records of detailed actions initiated by users or systems with timestamp accuracy. If there have been any previous audits, the audit findings including major areas of non-compliance, minor non-conformities and improvements must be documented.
Records of corrective action initiated after the audit findings must also be maintained. Additionally, policies regarding retention of these logs as per regulatory requirements must be in place.
In order to build a compliant organization, it is necessary to have a well-informed workforce. Publishing awareness training for all employees and logs of training completion serve as documented proof. It helps validate employee competency and their understanding of the regulations.
In order to assess the quality of current practices, controls, and processes, a series of testing and validation rounds is conducted. Reliable and transparent knowledge transfer is facilitated by detailed documentation of the test plan, test data, code or instructions used for execution and the key results. The validation summary ensures conformity with standards or regulatory requirements and streamlines the audit process.
An organization must produce evidence of the incident response plan. This should include documentation on the incident response team with clearly defined roles and responsibilities. Additionally, it must have details on incident identification process, escalation, and mitigation procedures as well as post-incident reporting. To help understand an organization’s preparedness for security event handling, key learnings and improvement areas must be highlighted
Change management policies are required when making strategic imperative changes to systems, processes etc. These changes can include system or technology upgrades, organizational restructuring, infrastructure additions or other changes that may impact compliance efforts. Necessary evidence includes documenting the overall strategy, impact assessment, management review, process and post-implementation review.
For risks, assessing precedes addressing. At the onset of your compliance efforts, it is crucial to understand the compliance risk universe in order to address regulatory shortcomings. The risk assessment procedure, gap analysis report, tactical plan for mitigation and the evidence of corrective action must be produced to support compliance audits. The auditor can track progress and connect the dots with respect to various decisions and actions initiated by the organization.
Third-party agreements help in understanding vendor due-diligence and risk mitigation associated with their services. These agreements make it easier to comprehend business relationships, reinforcing that the organization has initiated necessary steps for vendor risk management.